Quality and Controls Specialist - Banking

Education:

Bachelor's Degree Required and 3+ years of relevant experience preferabley in a financial services environment.

Preferred Experience

• Brokerage operations experience.
• Managed Accounts experience.
• Trading or trade review experience.
• Prior experience in quality assurance, controls, audit, risk, or process improvement within a financial services environment.

Key Responsibilities

• Develop and maintain strong knowledge of organizational policies, procedures, regulatory requirements, quality standards, and operational controls.
• Perform detailed quality reviews of Advisory and Managed New Account processes and documentation to ensure accuracy, completeness, procedural adherence, and compliance with internal expectations.
• Conduct audits, transaction reviews, and quality assessments to verify adherence to company standards, service expectations, and risk management requirements.
• Monitor operational workflows to identify trends, recurring errors, procedural gaps, control weaknesses, and areas of operational risk.
• Investigate discrepancies, exceptions, and processing errors to determine root cause and recommend preventative measures.
• Develop, track, analyze, and report quality metrics, audit findings, error trends, and performance results to leadership.
• Collaborate with leadership and business partners to strengthen operational controls, improve workflow efficiency, enhance procedural consistency, and support quality assurance initiatives.
• Assist with the development and facilitation of training for new hires and existing associates, with emphasis on quality standards, procedural accuracy, compliance awareness, and operational excellence.
• Maintain and update training, reference, and procedural materials to reflect process changes, audit findings, compliance updates, and evolving best practices.
• Provide coaching and feedback to reinforce accountability, improve performance, and promote a strong quality-focused culture.
• Serve as a knowledgeable point of contact for internal and external inquiries, ensuring responses align with procedures, controls, and service expectations.
• Support departmental adherence to established service levels, quality benchmarks, and operational risk management standards.

Skills:

Qualifications and Skills

• Strong attention to detail with the ability to consistently maintain high levels of accuracy in a high-volume operational environment.
• Knowledge of quality assurance practices, audit methodology, operational controls, and process improvement principles.
• Ability to identify risk, evaluate procedural gaps, and recommend practical solutions that improve quality, efficiency, and consistency.
• Strong analytical and problem-solving skills, including the ability to investigate issues, assess root cause, and interpret quality trends.
• Experience monitoring performance metrics, preparing reporting, and presenting actionable recommendations to leadership.
• Ability to manage multiple priorities while meeting deadlines and maintaining compliance with established procedures and standards.
• Proficiency with client management systems, operational platforms, reporting tools, and Microsoft Office applications.
• Strong written and verbal communication skills, with the ability to deliver constructive feedback and collaborate effectively across teams.
• Ability to work independently while maintaining accountability to departmental goals, quality expectations, and control requirements.
• Commitment to continuous improvement, operational excellence, and fostering a culture centered on accuracy, accountability, and quality performance.